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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 (1) | 06/05/2013 | M | 8,750 | (2) | (3) | Common Stock | 8,750 | $ 0 | 17,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POPPE MICHAEL J 4055 TECHNOLOGY FOREST BLVD., SUITE 210 THE WOODLANDS, TX 77381 |
Chief Operating Officer |
/s/ Michael J. Poppe | 06/05/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each Restricted Stock Unit represents a contingent right to receive one share of Conn's, Inc. Common Stock. On May 24, 2013, 8,750 of the reporting person's Restricted Stock Units vested, and 8,750 Shares of Common Stock were issued to the reporting individual. |
(2) | The Restricted Stock Unit vests in four equal annual installments beginning on May 24, 2012. Vested shares will be delivered to the reporting person within thirty days following the date of the vesting of the shares. |
(3) | The Restricted Stock Units convert to shares of Common Stock which are deemed to be issued, if not issued, thirty days following the vesting of the Restricted Stock Units. No expiration date. |
(4) | Price based on closing price of Conn's, Inc. Common Stock on date of vesting. Transaction Date represents that date such shares issued to reporting person. |